Position Summary: Support and assist IQEQ’s investment adviser client by providing regulatory compliance services 
through oversight of the execution and continuous improvement of the client’s compliance program, which meet 
the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and 
regulations. Update the client’s compliance programs as necessary to keep them current with new regulatory 
requirements and best business practices. You will be working directly with leading private equity and hedge fund 
firms in the alternative asset industry under the guidance and direction from our experienced team of industry 
veterans. You will be facilitating our service offering by assisting, performing, and reviewing the following: Independently manage client relationships with support and advice from Managing Director/Senior Managing DirectorProvide oversight and assistance to ensure completion of all client deliverables (annual reviews, testing, advice and consulting, regulatory filings, etc.)Develop and implement compliance policies and procedures – taking a proactive approach to ensuring policies are implementedConduct annual compliance reviews and internal control testingOversee the preparation and submissions of regulatory filingsLead client trainings regarding regulatory requirements and best practicesContinuously monitor relevant regulatory changes and assist clients in developing internal controls, accordinglyOversee the registration of clients as broker-dealers or investment advisers with the appropriate regulatory bodiesAssist in conducting mock regulatory exams; as well as assist in providing SEC and FINRA exam supportTrain staff on firm processes, new regulations or takeaways from industry eventsProactively provide practical, business friendly solutions for esoteric regulatory issuesCultivate a culture of community and to lead and coach junior staffContribute to company initiatives outside of client engagement management
 
